Richard P. Moriarty
Professional summary
Richard Paul Moriarty is a registered financial professional currently at TCBI SECURITIES, INC. located in Dallas, Texas.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1998. Richard has worked at 7 firms and has passed the Series 66, Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Paul Moriarty's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 31, 2026 - Present
TCBI SECURITIES, INC.
Office #1: 2000 Mckinney Avenue Suite 700, Dallas, TX 75201January 31, 2024 - July 10, 2026
CBRE CAPITAL ADVISORS, INC.
September 20, 2010 - December 31, 2015
UNION GAMING RESEARCH
June 16, 2010 - January 2, 2024
CBRE SECURITIES, LLC
March 20, 2006 - April 9, 2009
DEUTSCHE BANK SECURITIES INC.
March 4, 2004 - March 24, 2006
SUSQUEHANNA FINANCIAL GROUP, LLLP
September 23, 1998 - March 9, 2004
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/3/2026)
(7/31/2026)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
TCBI SECURITIES, INC.
CRD#: 313304 / SEC#: , 8-70682
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TEXAS CAPITAL BANCSHARES, INC. | OWNER | |
| ALVARADO, ANNA MARIA | DIRECTOR | 4433966 |
| COLPITTS, JOEL BRIAN | PRINCIPAL FINANCIAL OFFICER AND FIN/OP | 2376942 |
| GENYK, STEVEN | MUNICIPAL SECURITIES PRINCIPAL | 2324120 |
| GETTY, JOSEPH MATTHEW | AMLCO | 6343874 |
| HOLMES, ROBERT C | DIRECTOR | 2948416 |
| HOVERMAN, DANIEL STEPHENS | DIRECTOR, PRESIDENT | 5281289 |
| OMAN, DAVID | DIRECTOR | 5685397 |
| RIVERA, JASON | CHIEF COMPLIANCE OFFICER | 5010925 |
| SCURLOCK, JOHN MATTHEW | DIRECTOR | 7521986 |
Red Flags
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Company Information
TCBI SECURITIES, INC.
CRD#: 313304Dallas, TX 75201TRUST BUT VERIFY
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